A.G. EDWARDS & SONS INC.

07/25/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2005000163102 TO: Department of Market Regulation NASD RE: A.G. Edwards & Sons, Inc., Respondent Broker Dealer CRD No. 4 Pursuant to Rule 9216 of NASD Code of Procedure, A.G. Edwards & Sons, Inc. (''AGED" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any

Reference 2005000163102data-portal.finra.orgfinra.org

04/10/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050010270-01 TO: Department of Market Regulation NASD RE: A.G. Edwards & Sons, Inc., Respondent Broker Dealer CRD No. 4 Pursuant to Rule 9216 of NASD Code of Procedure, A.G. Edwards & Sons, Inc. ("AGED" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not

Reference 2005001027001data-portal.finra.orgfinra.org

03/04/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050004740-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: A.G. Edwards & Sons, Inc., Respondent Broker-DeaIer CRD No. 4 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, A.G. Edwards & Sons, Inc. (the ("firm") submits this Letter of Acceptance, Waiver and Consent (''AWC'') for the purpose of proposing a settlement of the

Reference 2005000474001data-portal.finra.orgfinra.org

07/14/2008: FINANCIAL INDUSTRY REGULATORY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011877401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: A.G. Edwards & Sons, Inc., Respondent Former Member Firm (CRD No: 4) Pursuant to Rule 9216 of the FINRA Code of Procedure, Respondent A.G. Edwards & Sons, Inc. ("Edwards" or "Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of settlement of the alleged rule violations described

Reference 2007011877401data-portal.finra.orgfinra.org

09/25/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400790002 TO: Department of Enforcement NASD RE: A.G. Edwards & Sons, Inc. One North Jefferson St. Louis, Missouri 63103 BD No. 4 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent A.G. Edwards & Sons, Inc. ("Edwards" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if

Reference EAF0400790002data-portal.finra.orgfinra.org

07/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070071169-01 To: Department of Enforcement FINRA Re: A.G. Edwards & Sons, Inc. (CRD No. 4) Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, A.G. Edwards & Sons, Inc. (A.G. Edwards) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not

Reference 2007007116901data-portal.finra.orgfinra.org